GASP Mechanics:GASP Mechanics:The roadmap approachThe roadmap approach

Paul McCarthyPaul McCarthyIFALPAIFALPA

RESOLUTION A36-7

The Assembly: …3. Resolves that these global plans [GASP and GANP] shall provide the framework framework in which regional, sub-regional and national implementation plans will be developed and implemented thus ensuring harmonization ensuring harmonization and coordination of effortsand coordination of efforts aimed at improving international civil aviation safety and efficiency

RESOLUTION A36-7Appendix A

Noting with satisfaction the Global Aviation Safety RoadmapRoadmap as developed by key industry partners acting as the Industry Safety Strategy Group (ISSG) with ICAO and which forms the basis for the Global Aviation forms the basis for the Global Aviation Safety PlanSafety Plan;Noting the intent to continuously apply the Global Aviation Safety Plan as a tooltool to enhance safety by focusing action where it is most needed

ICAO Global AviationSafety Roadmap

Background:• Inspired by 7th ICAO ANC Industry meeting May 2005• Produced by the Industry Safety Strategy Group (ISSG) and

ICAO ANC: Airbus

Airports Council International

Boeing

Council of Air Navigation Service Organizations

Flight Safety Foundation

International Air Transport Association

International Federation of Airline Pilot Associations

ICAO Global AviationSafety Roadmap

Goals and Objectives:• Provide a common frame of reference for all

stakeholders• Coordinate and guide safety policies and initiatives

worldwide to reduce the accident risk for commercial aviation

• Avoid duplication of effort and uncoordinated strategies

• Encourage close industry and government cooperation on common safety objectives

ICAO Global AviationSafety Roadmap PART II

• A detailed plan intended to guide Roadmap implementation

• Best Practices described for each Objective• Metrics provided for each Best Practice• A four-level Maturity Model provided for each Objective

based on implementation of Best Practices• Process described to assess current status and gaps

that need to be addressed

The The ““RoadmapRoadmap””

States States -- Areas for ActionAreas for Action

1. Consistent implementation of international Standards 2. Consistent regulatory oversight 3. No impediments to reporting of errors & incidents4. Effective incident & accident investigation

Industry Industry -- Areas for ActionAreas for Action

1. No impediments to reporting & analysing errors / incidents

2. Consistent use of safety management systems3. Consistent compliance with regulatory requirements4. Consistent adoption of industry best practice5. Alignment of industry safety strategies6. Sufficient number of qualified personnel7. No gaps in the use of technology to enhance safety

Regional Area of FocusRegional Area of Focus

Consistent coordination of regional programmes

The Roadmap Elements:3 Dimensions and 12 Focus Areas

Implementing the RoadmapRegional Safety Enhancement Plan

Development Process

Maturity Model to Guide Gap Analysis

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Developing a Best Practice Approach –State

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Focus Area 2 Objectives

Focus Area 2 – Inconsistent Regulatory Oversight

• Objective 2a – States ensure their Regulatory Authority is independent, competent and adequately funded. Establish an independent mechanism to monitor competency of Regulatory Authority.

• Objective 2b – ICAO USOAP, or other equivalent means of assessment, continue to review compliance with international SARPs, coordinated international support being provided where necessary.

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Best Practices: Objective 2a

Inconsistent Regulatory OversightTable 2a – Best Practices MetricsBP 2a-1 – State utilizes/implements the 8 critical

elements of the safety oversight system

Primary aviation legislationSpecific operating regulationsCAA structure and safety oversight functionsTechnical guidanceQualified technical personnelLicensing and certification obligationsContinued surveillance obligationsResolution of safety issues

• State implements in accordance with ICAO Doc 9734, Part A, Chapter 3

BP 2a-2 – State provides a mechanism for sufficient funding of safety oversight activities

a.USOAP ORG 2.051

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Best Practices: Objective 2a

Inconsistent Regulatory OversightTable 2a – Best Practices MetricsBP 2a-3 – State applies the principles of risk management

to its safety related activities.

a) Hazards and risks are assessed and prioritized on a regular basis.

b) Risk mitigation strategies are developed and implemented.

c) Results are assessed and corrective action taken as needed.

a) ICAO Doc. 9859, para. 3.3

b) Attendance at ICAO SMS Training Course

BP 2a-4 – The Regulatory Authority acts independently where safety issues are implicated in its actions.

a) The individuals responsible for such action must be given appropriate authority to exercise their responsibilities.

b) Accountability for the exercise of regulatory authority must be in accordance with the principles of a “just culture” (see Objective 3a for a discussion of “just culture”).

a) USOAP LEG 1.109; USOAP 1.111

b) Annex 13, Attachment E; i.e. USOAP AIG 6.505

Maturity Table: Focus Area 2

State aware of and attempting to correct deficiencies but has not completed implementation of corrective actionThere is no certainty that the State is able to provide proper oversight for existing level of activity

Level 2 – Areas Identified for Improvement

Low level of implementation of SARPs and little or no attempt to correct the situation is in progressState unable or unwilling to exercise oversight.[Added significance if a large part of the aviation activity under the oversight of the State occurs in other States]

Level 1 –Developing

CapabilityMaturity Level

CapabilityMaturity Level

State aware of level of compliance, has implemented appropriate SARPs and has access to the resources necessary to support the existing activitiesState has processes in place and access to the necessary resources to continually reassess and maintain levels of compliance in light of modifications to SARPs and changes in activity within its jurisdiction.

Level 4 – Highly Evolved

State has the capacity to exercise oversight on the type of operation for which it has responsibility State has limited ability to continue oversight if there is:

a significant increase in the volume or scope of activities

improvements in technology

Level 3 – Evolving –Changes in work

Maturity Table: Focus Area 2 (continued)

Developing A Best Practice Approach -Industry

Focus Area 6 Objectives

Focus Area 6 – Impediments to Reporting and Analyzing Errors and Incidents

• Objective 6a – Industry (management) commits to a “Just Culture” of reporting all safety related and potential safety issues without fear of reprimand to involved parties.

• Objective 6b – Identify and implement common metrics and descriptors of precursor events needed to enable adoption of a proactive approach to managing risk.

• Objective 6c – Establish and integrate across the industry shared incident/error databases. Demonstrate and disseminate the benefits of open reporting.

Best Practices: Objective 6a

• A written “Just Culture” policy signed by the chief executive which defines acceptable and non-acceptable behavior. (IOSA ORG 1.2.1) (IS-BAO AMC 3.2 Attachment B)

BP 6a-3 – The chief executive has signed a written “Just Culture” policy for the organization.

Corporate guidance signed by the chief executive that implements a “Just Culture” within an organization and provides guidance on protections for those who report safety-related information. Changing the legal framework for reporting safety-related information may be required. Enacting regulations or legislation that establishes a “Just Culture” program and that clearly defines acceptable and non-acceptable behavior.

• “Just Culture”programs operating in each aviation organization. (IOSA ORG 1.2.1) (IS-BAO AMC 3.2)

BP 6a-2 – Aviation organizations have implemented “Just Culture” programs within their organizations.

At the same time that the regulatory authority is developing the empowerment regulations, all related aviation organizations should be developing implementation strategies for their own organizations. Following enactment of regulatory provisions for open reporting, corporate senior management should demonstrate investment in the program through personal and organizational commitment to a “Just Culture”. This will be done by both spoken and written proclamations from top management.

• Annex 13 –Attachment E -agreement

• Existence of regulatory framework upon which an open reporting system is based

• USOAP AIG 6.505

BP 6a-1 – The State has empowered an open reporting system.

Empowerment of the system by the State is the cornerstone on which a “Just Culture” is built. The regulatory authority should, in close cooperation with the aviation stakeholders, develop and implement regulations which foster open reporting.

MetricsTable 6a –Best Practices

Maturity Table: Focus Area 6

Just culture empowerment legislation in placeAn organizational just culture is established o A just culture policy statement signed by the

chief executiveo Acceptable/non-acceptable behavior within

the just culture defined in organizational documentation

o Just culture education and training programs are operational

Level 2 – Areas Identified for Improvement

Neither empowerment legislation nor just culture program exists

Level 1 –Developing

CapabilityMaturity Level

FDA system is operationalo Current operating personnel are involved in data

analysisCommon taxonomies have been developed and agreed upon

o Sharing of data with other organizations within the region and/or alliance partners is occurring

Level 4 – Highly Evolved

A confidential reporting system is operational within the organization

An ASAP program has been developed/adapted for the aviation organizationThe organization vested in either regional or global IRM meetings.Provisions are in place to protect aviation organization’s proprietary information during data collectionProactive trending of safety information is occurringSystems are in place to provide feedback to the organization’s work forceIOSA preparatory work completed and audit scheduled

Level 3 – Evolving –Changes in work

Practical Implementation

The next discussion will hopefully demonstrate how the concept can be applied in a particular location as a tool to enhance safetyQuestions?Thank you for your attention.